Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael D. Weinreb, Claimant v. UBS PaineWebber and Marc Winters, Respondents Case Number: 03-03450 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael Huberman, Esq. Seth Huberrnan, Esq. Huberman & Associates La Quinta, California For Respondents: Robert H. Logan, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marianne Grosso (Claimant) v. Victor Muro, MetLife Securities Inc., and Metropolitan Life Insurance Company (Respondents) Case Number: 03-03445 Hearing Site: New York. New York Nature of the Dispute: Customer v. Members and Associated Person, REPRESENTATION OF PARTIES Claimant Marianne Grosso ("Grosso") hereinafter referred to as "Claimant": John Ross, Esq., Adomo & Y

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Neil D. Berlant, Respondent Neil D. Berlant, Counter-Claimant v. Wells Fargo Investments, LLC, Counter-Respondent Case Number: 03-03437 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: Ronald S. K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Michael Chayes, Respondent Case Number: 03-03436 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald S. Kravitz, Esq. Cindy U. Nguyen, Esq. Liner Yankelevitz Sunshine & Regenstreif San Francisco, California For Respondent: Leonard Steiner, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03430 Lori Ransohoff, Individually and as Trustee of the Joseph Ransohoff Pension Trust Special, as Trustee for the Jade I. Ransohoff Trust, as Trustee for the Jack C. Ransohoff Trust and as Trustee of the Ransohoff Pension Trust Names of the Respondents Hearing Site: Tampa, FL Southern Portfolio Advisors, Inc. Southern Capital Ente

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01306 Lucy I. Maurer, claimant vs. Mutual of Omaha Investor Services and Wilton D. Johnson, respondents. ATTORNEYS: Claimant appeared pro se, Roanoke, VA. For Respondents appeared Christian E. Bryan, Esq., in-house counsel, Omaha, NE. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant alleged that respondents misrepresented facts about the suitability of the investments they rec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frida Alter, Individually and as Trustee of the Frida Alter Living Trust (Claimant) v. PaineWebber, Inc., n/k/a UBS PaineWebber, Inc., (Respondent) Case Number: 00-00718 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Frida Alter, Individually and as Trustee of the Frida Alter Living Trust ("Alter"): Steven J. Rotunno, Esq., Kubasiak, Cremieux, Frylstra,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jeanne Rae Elias Linda Elias Thomas Name of the Respondent Morgan Stanley DW, Inc. d/b/a Morgan Stanley Case Number: 03-03428 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeanne Rae Elias and Linda Elias Thomas, hereinafter collectively referred to as "Claimants": Jeffrey Sonn,

I f STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas Klucsartis v. 03-03425 Denver, Colorado Respondents David S. Hauptman, Richard Owens, Cathy Owens Thomas Smith, Debra Smith, Gereon Fredrickson and Roxanne Fredrickson NATURE OF DISPUTE Associated Person v. Customers REPRESENTATION OF PARTIES Thomas Klucsartis ("Claimant") was represented by Stephen D. Bell, Esq., of Dors

Stipulated Award NASD Dispute Resolution 3n the Matter of the Arbitration Between: Name nf the Claimant Case Number 03-03424 Gary Romett Nrnne of the Respondents Hearing Site- Philadelphia, PA Credit Suisse First Boston Corporation Shawn Hartpence Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PARTTRS Claimant, Gary Romett, hereinafter referred to as "Claimant", was represented by Steven H. Berkowitz, Esq